Securities / Derivatives

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    Securities / Derivatives

    SEBI Overhauls Quarterly Reports for Alternative Investment Funds

    By Mark Johnston | 15/09/2023

    The revised format requires AIFs to provide information on their fund structure, investment strategy, portfolio composition, valuation methodology, and other areas.

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    Enforcement

    RHB Investment Bank Fined, Reprimanded for Sponsor Failures

    By Editors | 15/09/2023

    RHB failed to conduct proper due diligence on an ACE Market listing applicant and to ensure submissions to Bursa Malaysia were complete and accurate.

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    Securities / Derivatives

    China to Provide Guarantees on Private Enterprise Bonds

    By Editors | 15/09/2023

    China Securities Finance indicated it would work to provide more credit enhancement support to private enterprises to support bond financing.

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    Capital / Liquidity

    RBI Revises Norms for Banks’ Investment Portfolios

    By Manesh Samtani | 15/09/2023

    The RBI said the revisions will enhance the quality of financial reporting, bolster the corporate bond market, and strengthen bank risk management.

    Securities / Derivatives

    CFTC Extends No-Action Letter for TAIFEX Swaps Clearing

    By Editors | 14/09/2023

    The six month extension allows US persons to continue clearing swaps on TAIFEX for proprietary trades while a formal CFTC exemption is pending.

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    Market Infrastructure

    NZX Consults On Introduction of Exchange-delivered Dark Pool

    By Sanday Chongo Kabange | 14/09/2023

    ‘NZX Dark’ will provide an alternative venue for investors to execute large transactions with anonymity and price improvement.

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    Securities / Derivatives

    Sri Lanka SEC Approves New Listing Rules for SOEs

    By Duruthu E Chandrasekera | 14/09/2023

    A new transitionary board will be set up, allowing SOEs to list and progressively transition to a listing on one of the CSE’s existing boards.

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    ESG / Sustainability

    Singapore Launches Largest Ever Equity ETF to Drive Climate Action

    By Editors | 14/09/2023

    The SGX-listed fund is managed by BlackRock and anchored by Prudential, with additional backing from investors that include Temasek and Singlife.

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    Securities / Derivatives

    Industry Bodies Call on SEC to Reassess Custody Rule Proposal

    By Editors | 14/09/2023

    A letter from 26 trade associations calls on the SEC to re-evaluate the costs and economic impacts of its custody rule proposal.

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    Fintech / Regtech

    US SEC Grants Nasdaq Approval to Launch AI-Powered Order Type

    By Sanday Chongo Kabange | 14/09/2023

    The order type enhances liquidity, execution quality improvement outcomes, and fill rates by adjusting dynamically to real-time market conditions.

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